Others
Type of enforcement action
Warning
Name of Party
Mandadige Ajith Rohan Fernando
Conduct and outcome
The Commission after having considered the findings of the Investigations Division, decided to warn this individual against his failure to comply with the highest standards of professional conduct and integrity required of a person dealing with clients in terms of section 3.1 of the CSE Stockbroker Rules and avoid conflicts of interest, that arose due to his trading in the CDS Accounts of his family members while being employed as an investment advisor.
Date of Warning : 28th November 2023
Kindly note that the names of certain personnel against whom enforcement action were taken in the past pertaining to this offence have been removed in accordance with the retention policy for publications.